Katherine M. Barrett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katherine M. Barrett, who also goes by Kat M Barrett, Katherine M Barrett, Katherine Michele Barrett, Katherine Barrett, Kat Barrett, Katherine Michele Smith, Katherine Michele Smith, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2014. Katherine had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2016 - April 26, 2018
PNC MANAGED ACCOUNT SOLUTIONS, INC.
August 2, 2016 - April 26, 2018
BBVA SECURITIES INC.
June 12, 2015 - October 30, 2015
PNC WEALTH MANAGEMENT LLC
August 19, 2014 - October 30, 2015
PNC WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PNC MANAGED ACCOUNT SOLUTIONS, INC.
CRD#: 110476 / SEC#: 801-56131
Contact information
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 588,442,024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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